McCarthy Tétrault Partners Author New Guide on Canadian Securities Regulatory Licensing Requirements


Toronto, November 26, 2012 — McCarthy Tétrault is pleased to announce the publication of CCH’s new book, Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers. Authored by Michael Nicholas, Sean Sadler and Rene Sorell, partners in McCarthy Tétrault’s Securities Regulation & Investment Products Group, the book serves as a comprehensive guide to the Canadian securities and investment regime.

Geared to foreign broker-dealers, advisers and investment fund managers seeking clients or conducting securities business in Canada, the book covers topics that non-residents should know about before trading securities or providing investment advice to individuals or companies in Canada. It also provides the information that foreign investment managers require to act as investment fund managers in Canada.

Topics include the following:

  • dealer registration
  • adviser registration
  • investment fund manager registration
  • prospectus requirements

The book is available on CCH’s website at

About McCarthy Tétrault

McCarthy Tétrault provides a broad range of legal services, advising on large and complex assignments for Canadian and international interests. The firm has substantial presence in Canada’s major commercial centres and in London, U.K.

Built on a unique model of collaboration, the firm brings its legal talent, industry knowledge and practice experience, wherever needed, to help clients achieve the results that are important to them.